Assessment of the Performance

of

Registered Lift/Escalator Contractors & Engineers

Effective Date: 1 February 2018 Electrical & Mechanical Services Department

Assessment of the Performance

of Registered Lift/Escalator Contractors & Engineers

1. Introduction

Under the Lifts and Escalators Ordinance (“the Ordinance”), registered lift/escalator

contractors/engineers (hereinafter called RC and RE for registered contractor and registered

engineer respectively) are required to perform their specific duties as stipulated in sections

16 (for RCs) and 17 (for REs) of the Ordinance. The Director of Electrical and Mechanical

Services (“the Director”) makes reference to the quality of lift/escalator works observed

during inspections and/or documentary evidences to gauge and monitor the performance

of REs and RCs.

2. Performance Monitoring

(a) Performance monitoring (“PM”) points are derived to facilitate assessment of the

performance of RCs and REs. The quantified PM points represent the performance

shortfalls of RCs and REs in carrying out lift/escalator works failing to comply with the

requirements stipulated in the Ordinance, Codes of Practice and international standards

as listed below:

(i) The Lifts and Escalators Ordinance and the Lifts and Escalators (General)

Regulation (“the Regulation”);

(ii) Code of Practice on the Design and Construction of Lifts and Escalators

(“Design Code”);

(iii) Code of Practice for Lift Works and Escalator Works (“Works Code”);

(iv) Code of Practice on Building Works for Lifts and Escalators;

(v) Code of Practice for the Electricity (Wiring) Regulations; and

(vi) BS2655, BS5655, BS5656, EN81 and EN115, wherever applicable to lifts or

escalators.

(b) The established non-compliant items, depending on their nature, are classified into 6

Categories, namely A, B, C, D, E & X. Category A belongs to critical safety items, which

is accorded 15 PM points for each non-compliance while Categories B, C, D and E

belong to maintenance items, which are accorded 6 PM points, 4 PM points, 3 PM

points and 2 PM points respectively for each non-compliance. Category X includes any

conviction by the Court for contravening the Ordinance or Regulation, and committed

disciplinary offence established in the Disciplinary Board, which are accorded 20 PM

points and 15 PM points respectively. Category X will not be accorded if the concerned

irregularity has already been accorded in any of Categories A, B, C, D and E before the

conviction by the Court or Disciplinary Board. For calculation of the average score of PM

points over a period, every allocation of PM points by an item under Category X will

increase the number of units inspected by one.

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(c) Inspection of a lift/escalator may be conducted by the Director's representative in the

presence of the RC/RE or his representatives, or investigation of documentary evidences

will be undertaken to establish the basis of the non-compliances. PM points will be

recorded according to each identified non-compliant item. Every allocation of PM points

based on investigation of documentary evidences will increase the number of units

inspected by one. The lift/escalator inspections and/or review of documentary evidences

may normally be conducted, but are not limited to, the following occasions:

(i) Upon receiving a test certificate issued by a RC and a RE for a new lift or a new

escalator;

(ii) Upon receiving a test certificate issued by a RC and a RE for a lift or an escalator

after major alterations;

(iii) Upon receiving a test certificate issued by a RC and/or a RE for an existing lift or

escalator;

(iv) Upon receiving complaints from the public;

(v) Upon notification of an incident related to a lift/escalator;

(vi) Upon notification of taking over of maintenance of a lift/escalator;

(vii) Random inspections of existing lifts or escalators.

(d) PM points recorded will be kept under the account of each RC or RE or both of them

depending on the nature of the identified non-compliant items. Normally, the PM

points arisen from non-compliant items of maintenance works will be recorded in the

RC’s account and PM points arisen from non-compliant items identified from

inspections following receipt of certificates will be accorded to the RC and the RE who

last examined or tested the installation. Should the sub-contractor RC be identified with

non-compliant items and with PM points accorded, 4 PM points or the amount of PM

points accorded to the sub-contractor RC (whichever is lower), will also be accorded to

the main RC.

(e) PM points will be recorded following the decision of the Courts/Disciplinary Boards or

conclusion of investigation in which the RC or RE has been convicted, found guilty or

liable for the incident subject to the fact that no PM points have been accorded before

upon discovery of the concerned non-compliant items/misconduct/negligence.

(f) The RC or RE will be notified in writing in case any non-compliant items are identified

and the related PM points are recorded in his account. He may appeal in writing with

full justifications to the Director within two weeks of the notification date. For

exceptionally complicated cases where the RC or RE requires more time to prepare

appeal justifications, the RC or RE may furnish reasons and apply to the Director in

writing within one week of the notification for extension of time for submission of full

appeal justifications. The Director will advise the time limit, where applicable, for the RC

or RE to prepare for the appeal. The Director's decision on granting extension of time

and on the appeal shall be final.

(g) PM points incurred for the non-compliant items identified will be kept in the RC's or RE's

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account for 12 successive calendar months, commencing from the month when the

non-compliant items are recorded, or when the PM points are recorded following the

decision of the Court/Disciplinary Boards or conclusion of investigation as mentioned in

(e) above, whichever is later, for calculation of the moving average in i(iii) below.

(h) When the total PM Points of each RC/RE’s account accumulate up to the critical points

or for such critical situations where the non-compliance may lead to serious safety

consequence, the Director may take one or more of the following actions:

(i) Issue a warning letter to the RC or RE and also notify other relevant enforcing

authorities;

(ii) Initiate disciplinary proceedings by bringing the matter(s) to the notice of the

Secretary for Development for appointment of a Disciplinary Board pursuant to

Part 5 of the Ordinance;

(iii) Institute prosecution actions against the RC or RE.

(i) For the purpose of paragraph (h), the following critical points and situations are

established:

(i) For any Category A non-compliant item (15 PM points item) in a single unit

inspection, a warning letter will be served to the RC and/or RE.

Prosecution/Disciplinary actions may also be instituted.

(ii) In case of an aggregated total of 12 PM points or more for maintenance

non-compliant items, excluding Category A and Category X items, are

accorded in a single unit inspection, a warning letter will be issued to the RC

and/or RE.

(iii) When the moving average of the accumulated PM points of the non-compliant

items found is above 4 PM points in any rolling 12-month period within which

the number of units inspected is not less than 10, a warning letter will be served

to the RC and/or RE. The said moving average is calculated by dividing the total

number of PM points (excluding non-compliant items already covered by a

warning letter following the inspection) scored for 12 successive calendar

months by total number of units inspected during the 12 successive calendar

months. This excludes Category A and Category X items and the aggregated

total of PM points under item (ii) above for which a warning letter has been

issued. The inspected units giving rise to the Category A item(s), Category X

item(s), or an aggregated total of 12 PM points or more in a single unit

inspection are to be excluded for the calculation of moving average figure. The

accumulated PM points will be reset to zero upon issuance of a warning letter

due to triggering of the moving average critical point and the number of units

inspected will also be reset to zero. Further moving average assessment will be

made for the ensuing period when the number of units inspected reaches 10

again.

(iv) A warning letter will be served to the RC/RE in case of any conviction by the

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Court for offence(s) in relation to contravention of the provisions of the

Ordinance or Regulation or any misconduct or negligence in carrying out

lift/escalator works decided by the Disciplinary Board.

(v) The non-compliance was due to grave negligence or misconduct of the RC

and/or RE.

(vi) If the performance of the RC or RE is persistently unsatisfactory, i.e. 3 warning

letters have been issued to the RC or RE within a 12 months’ period, disciplinary

and/or prosecution actions against the RC or RE may be instituted.

(j) A demarcation prefix “P” has been added to all the non-compliant items under this

assessment scheme.

(k) A sample calculation illustrating the arrangements mentioned in (g) and (i) is shown in

the Appendix.

(l) The aforementioned performance monitoring and sanction mechanism shall not

derogate the power of the Director in taking any action or imposing any penalty in

relation to any disciplinary matter or any offence stipulated in the Ordinance.

3. List of Common Non-compliance – Lifts

(Note: Any device/equipment/component newly installed during major alteration shall comply with the latest requirements of the Ordinance and the Code of Practice on the Design and Construction of Lifts and Escalators and shall be effective. PM points will be counted and recorded per cause of safety device/ component/ switch with non-compliances identified. Highest PM points will be accorded among the non-compliances with the same cause.)

Category A (15 points)

PLA1 The car door electrical interlock device is not provided or is ineffective or is

defeated such that the lift is still operational with a car door not fully closed (this

applies to lifts installed with the tendering date on or after 17 December 2012,

and, lifts installed with the tendering date before 17 December 2012 and

provided with car door electrical interlock device).

PLA2 The landing door interlock device is not provided or is ineffective or is defeated

such that the landing door is insecure or can be opened without using the

unlocking key when the car is not in the unlocking zone, or when the lift can be

operated with a landing door not fully closed or locked (for lifts installed on or

after 31 May 1984, the landing door is considered “locked” only when the

engagement of locking elements is not less than 7 mm).

PLA3 The safety gear or the ascending car overspeed protection means or the overspeed

governor is not provided or failed to perform its intended function when the car

reaches the designated tripping speed of the overspeed governor such that:-

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(i) the car (and/or counterweight where applicable) cannot be stopped and

maintained stationary, in the case of safety gear.

(ii) the car cannot be stopped or slowed down to a speed for which the

counterweight buffer is designed, in the case of ascending car overspeed

protection means (this applies to the lifts installed with the tendering date

on or after 1 January 2001).

PLA4 The machine brake is ineffective such that a downward travelling car with up to

125% rated load (150% rated load for industrial truck loaded freight lifts and

vehicle lifts; 110% rated load for passenger lifts designed & constructed prior to

BS 5655:Pt. 1) cannot be stopped and maintained stationary in case the power

supplies or control signals to either the motor or the brake are interrupted.

PLA5 The buffer is ineffective due to either improper installation or maintenance.

PLA6 For hydraulic lifts only: Protection devices against free fall or descent with

excessive speed is not provided or failed to perform its intended function.

Reference should be made to Table 1 or Clause 5.8.2 in Section E Part 2 of the

Design Code for requirements of protection devices.

PLA7 The electrical interlock device for the inspection or emergency door or inspection

trap to the lift well or for the access door to the lift pit is not provided or is

ineffective or is defeated such that the lift can be operated when any of these

doors or trap doors is not in the closed position.

PLA8 One or more of the hoisting ropes/chains is/are broken or missing or insecure in

the termination(s) due to inadequate or inferior maintenance / installation /

workmanship / material quality (where material quality of the hoisting

ropes/chains is in issue, no points will be recorded if the material quality of the

hoisting ropes/chains is outside the control and awareness of the RC or RE).

PLA9 The unintended car movement protection device is not provided or is ineffective or

is defeated such that the lift moved from the landing with the landing door not in

the locked position and the car door not in the closed position, or the lift car

cannot stop within the operation range as specified in the Design Code (this

applies to the lifts installed with the tendering date on or after 1 September 2007).

PLA10 The unintended car movement occurred due to any failure or ineffectiveness of

lift machine or brake system or drive control system, or any equipment deviated

from manufacturers’ configuration (except failure of suspension ropes or chains

and the traction sheave or drum or sprockets of the machine) such that the lift

moved from the landing with the landing door not in the locked position and the

car door not in the closed position, and the lift car cannot be stopped within a

distance specified in Clause 5.14.1, 5.14.2.1 or 5.14.2.2, Section E, Part 1 of the

Design Code.

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PLA11 The machine brake is ineffective such that a travelling car at upward travelling

direction at rated speed cannot be stopped and maintained stationary in case the

power supplies or control signals to either the motor or the brake are interrupted.

Category B (6 points)

PLB1 Incorrect setting of the car overload device or the car overload device is not of a

fail-safe design such that the lift can close its doors and operate when the load in

the car exceeds 110% of the rated load (for lifts installed on or after 3 May 1969).

PLB2 The upper and/or lower final limit switches of an electric lift, or upper final limit

switch of a hydraulic lift is not provided or is ineffective.

PLB3 Terminations of compensation ropes or governor ropes improperly installed in that

the fixing or termination of the ropes is insecure or metal/resin filled sockets not

adequately filled with metal/resin or rope grips not provided or missing.

PLB4 The buffer switch is not provided or is ineffective for the energy dissipation type

buffers (for lifts installed on or after 31 May 1984).

PLB5 The governor slack rope switch is not provided or is ineffective or is defeated (for

lifts installed on or after 31 May 1984).

PLB6 The compensation rope tension switch is not provided or is ineffective.

PLB7 The emergency stop switch at the machine room (for lifts installed on or after 18

March 1994), the pit or the car top is not provided or is ineffective.

PLB8 Speed setting of the overspeed governor is incorrect.

PLB9 The stopping distance in a safety gear test does not comply with the sliding

distance limitation stated in BS5655: Part 10 or BS2655: Part 1 (for lifts installed

before 18 March 1994).

PLB10 Phase failure/reversal protection is not provided or is ineffective.

PLB11 Insufficient traction such that the requirements stated in BS5655: Part 10 are not

satisfied (for lifts installed on or after 31 May 1984).

PLB12 The car door mechanical lock is not provided or is ineffective (for lifts installed on

or after 31 May 1984) such that the car door is insecure or can be opened by bare

hands inside the lift car when the car is not in the unlocking zone, or when the lift

can be operated with the car door not locked (for lifts installed on or after 10

October 2000, the car door is considered “locked” only when the engagement of

the locking elements is not less than 7 mm).

PLB13 The car/counterweight obstruction safety device is ineffective or not correctly

adjusted (for lifts installed on or after 31 May 1984).

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PLB14 The interlocking device for the car top/side emergency exit is not provided or is

ineffective such that the lift can be operated when the exit is not closed and

locked.

PLB15 The fireman’s lift fails to perform the required fireman’s lift operating mode.

PLB16 The home landing operation is not provided or is ineffective such that the lift car

cannot be brought back to home landing in case of fire emergency (for lifts

installed on or after 18 March 1994).

PLB17 The electrical interlock device for the fire/security gate installed in front of the lift

entrance is not provided or is ineffective. (Points will be recorded if the RC or RE

has not advised the responsible person of this non-compliant item in writing for

rectification within the last three months.)

PLB18 The landing door bridging control station is not provided or is ineffective (for lifts

installed on or after 18 March 1994).

PLB19 The tape switch is ineffective (for the lift with reduced stroke buffer and using

tape to transmit car position).

PLB20 Electrical checking on operation of the car safety gear is not provided or is

ineffective (for lifts installed on or after 31 May 1984).

PLB21 The protective screen is not provided at the pit for the counterweight or between

liftways for common shaft installation.

PLB22 Exposed/extraneous conductive parts of the lift system are not electrically earthed

in accordance with the Code of Practice for the Electricity (Wiring) Regulations or

the earthing is ineffective.

(PM points will be recorded under the following conditions:

The parts concerned are provided by the RC; or

The parts concerned are not provided by the RC and the RC or RE has not advised

the responsible person of this defect in writing for rectification.)

PLB23 For hydraulic lifts only: The anti-creep system is not provided as required or is

ineffective.

PLB24 For hydraulic lifts only: The pressure relief valve is not provided or is ineffective.

PLB25 Security gate is installed in front of the lift entrance of a fireman’s lift. (PM points

will be recorded if the RC or RE has not advised the responsible person of this

non-compliant item in writing for rectification within the last three months.)

PLB26 Sufficient overhead runby or bottom clearance in the pit according to the Design

Code is not provided.

PLB27 With the car stopped and the supply to the door operator (if any) disconnected

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(for lifts installed on or after 31 May 1984), Clause 4.10 in Section E Part 1 or Part

2 of the Design Code is not complied with, i.e.:

(i) it is unable to open or partly open the car door by hand from the landing; or

(ii) it is unable to open or partly open the car door together with the landing

door linked to it if they are coupled, by hand from within the car if the car is

stopped within the unlocking zone.

PLB28 Hoisting ropes are not maintained in good working conditions in that the diameter

of a hoisting rope has worn down by more than 10% of its nominal diameter or

the number of wire breaks is excessive or there is severe rusting (i.e. obvious

rouging exists for more than a cumulated rope length of 1 m within a hoisting

rope for an installation with a travel not more than 30 m or a cumulated rope

length of 3 m within a hoisting rope for an installation with travel exceeding 30 m)

or excessive grease/scum deposited on the hoisting rope (i.e. valley between rope

strands is not visible for more than a continuous rope length of 1 m within a

hoisting rope for an installation with travel not more than 30 m or for a cumulated

rope length of 5% of a hoisting rope).

PLB29 Fire or smoke incident involving the equipment or ancillary machinery of a lift

installation, which is found to be induced or caused due to inferior workmanship

in the installation or lack of maintenance of the lift, e.g. short-circuiting, excessive

dust/dirt, foreign materials, ageing cables, etc.

PLB30 Failure to carry out lift works by two or more lift workers in accordance with the

Code of Practice for Lift Works and Escalator Works, Part 4, Clause 4.11.

PLB31 Any incident 1 / property damage caused by equipment failure or defeated

components2, e.g. failure of levelling devices, electrical or mechanical component,

etc., or caused when carrying out lift works with inadequate safety precautions.

PLB32 Emergency alarm devices such as car push button with buzzer or intercom system

are not provided or are ineffective.

PLB33 The car emergency lighting is not provided or is ineffective (for lifts installed on or

after 3 May 1969).

PLB34 The brake monitoring device, which positively monitors to prevent further

operation of the lift machine when any one set of the braking mechanism is not

functioning properly, is not provided or is ineffective or is defeated (for lifts

1 Incident means any of the lift incident specified in Schedule 7, Part 1 of the Ordinance.

2 Equipment failure or defeated components related to Category A items will be accorded under

PLA items.

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tendered on or after 1 September 2007).

PLB35 For machine-room-less lifts only: the maintenance access panel does not provide

emergency operation devices together with an intercom system.

PLB36 For machine-room-less lifts only: If the machine room-less lift is provided with an

emergency electrical brake release switch, which is placed in the maintenance

access panel located outside the lift well, any of the following conditions is not

satisfied:

(i) operation of the emergency electrical brake release switch shall permit

the brake release operation by switching the bi-stable switch to brake

release mode and applying a constant pressure on one push-button,

protected against accidental operation, when the main power supply to

control cabinet is failed (for lifts tendered on or after 17 December 2012) ;

(ii) the emergency electrical brake release switch and its push-button shall be

so placed that the lift machine can be observed directly and there should

be a display device(s) to monitor the status of the lift car (for lifts tendered

on or after 17 December 2012) ; and

(iii) the emergency electrical brake release switch shall be supplied from the

essential supply or shall be backup by uninterruptible power supply (UPS)

/ batteries (for lifts tendered on or after 17 December 2012).

PLB 37 The governor rope/ tensioning pulley is not provided or fail to perform its intended

function.

Category C (4 points)

PLC1 The automatic closing function of the landing door is ineffective (for lifts installed

on or after 31 May 1984). This excludes cases where the dysfunction is caused by

foreign materials such as debris or sand particles in door sills.

PLC2 For lifts installed on or after 20 September 1997, CCTV system, indication light,

reset function or indication light for acknowledgement in lift car for the disabled is

ineffective. PM points will be recorded if:

(i) the part(s) concerned is(are) maintained by the RC or its sub-contractor;

or

(ii) the part(s) concerned is(are) not maintained by the RC or its

sub-contractor and the RC or RE has not advised the responsible person

of this non-compliant item in writing for rectification within the last three

months.

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PLC3 More than 10% of the total number of landing/car doors inspected in accordance

with Clause 3.2.2 of the Design Code have excessive clearance between door

panels, or between door panels and uprights, lintels or sills. (PM points will be

recorded for cases of excessive clearance due to unsatisfactory building works if

the RC or RE has not advised the responsible person of this non-compliant item in

writing for rectification within the last three months).

PLC4 Corrosion or damage or rusting of car cages, car doors or landing doors which

affects the safety of passengers or the operation of lifts. (PM points will be

recorded if the RC or RE has not advised the responsible person of this

non-compliant item in writing for rectification within the last three months).

PLC5 The normal/inspection switch of the car top control station is ineffective.

PLC6 In normal operation, display of the floor indication panel (i) does not tally with the

actual position of the lift car except advance position type; (ii) incomprehensible

display showing the position of the lift car; or (iii) no display showing the position

of the lift car (no points will be recorded if this non-compliance is due to the

responsible person’s arrangement or outside the control of RC).

PLC7 The compensating rope/chain is broken.

PLC8 The empty car can be raised by the lift machine rotating in the “up” direction

when the counterweight is resting on the buffer (for lifts installed on or after 31

May 1984).

PLC9 The car ventilation fan is inoperative or ineffective such that a capacity of 10 air

changes per hour in the lift car with the car doors closed cannot be maintained.

PLC10 Occurrence of passenger entrapment, which requires assistance from the RC/ Fire

Services Department for passenger release, for a frequency of 4 times or more

within a period of 30 days (no points will be recorded if this non-compliance is

due to the responsible person’s arrangement or outside the control of RC).

PLC11 Works which were subcontracted to another RC were identified with

non-compliant items and PM points accorded. (see para. 2(d))

Category D (3 points)

PLD1 The landing door emergency unlocking function is ineffective.

PLD2 Door sensitive protective devices are ineffective such that car/landing doors

continue to close even when the device has been triggered. (It does not include

the case when the sensitive protective device is made inoperative for the forced

closing system.)

PLD3 Door closing force of automatic power operated horizontally sliding doors is

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excessive, i.e. exceed 150N, measured after the first third of the travel of the door.

PLD4 Filler weights of the counterweight are insecure such that emergency stopping or

vibration during normal operation can cause the filler weights to dislodge from

the counterweight frame or to displace horizontally by more than 20 mm or to

displace to a position such that the clearance between lift car (and its associated

equipment) and the filler weights is less than 50 mm (the 50 mm clearance is

applicable to lifts installed on or after 31 May 1984 only), or to jump and hit the

adjacent filler weight or counterweight frame. During the PAS inspections, the

filler weights may be pushed by hand without using any tool in order to check

whether the filler weights are securely fixed.

PLD5 The car apron is not installed or properly fixed.

PLD6 The landing door apron under the threshold is not installed or properly fixed (for

lifts installed on or after 31 May 1984).

PLD7 Guide rails/Guide rail brackets/ Guide rollers/ Guide shoes are not properly fixed /

spaced / lubricated or are damaged.

PLD8 The car 'door open' button is ineffective.

PLD9 Protective guards not provided or cannot offer the protection as required such

that moving parts including rotating parts can inadvertently be accessed (PM

points will be recorded if the RC or RE has not advised the responsible person of

this non-compliant item in writing for rectification within the last three months).

Category E (2 points)

PLE1 Ventilation slots are blocked up (not applicable for lifts installed before 31 May

1984) (PM points will be recorded if the RC or RE has not advised the responsible

person of this non-compliant item in writing for rectification within the last three

months).

PLE2 Car lighting is not properly installed or is inoperative such that all lamps fail to turn

on.

PLE3 The brake releasing device or the handpump or the manual lowering device is

malfunction, or the correct or updated emergency operation instruction is not

provided.

PLE4 Oil leakage from machinery resulting in insufficient lubrication or oily floor with

prominent safety hazard.

PLE5 Notice or operating instruction for freight lift or industrial truck loaded freight lift

or vehicle lift is not provided (PM points will be recorded if the RC or RE has not

advised the responsible person of this non-compliant item in writing for

rectification within the last three months).

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PLE6 Failure to update log-book in accordance with the Code of Practice for Lift Works

and Escalator Works. (PM points will be recorded per unit of installation.)

PLE7 The lift well lighting, when fitted, are not properly spaced (not applicable for lift

well lighting installed before 31 May 1984).

PLE8 Load plate is not provided inside the lift car or the required information is not

correctly shown (PM points will be recorded if the RC or RE has not advised the

responsible person of this non-compliant item in writing for rectification within

the last three months).

PLE9 Machine room door or pulley room door or emergency/inspection door to the lift

well, or access door to the lift pit is not opening outwards, or is not provided with

self-closing device (not applicable to trap doors), or permanent warning notice or

locking device of the type that can be opened without a key from inside the room

or lift well or lift pit is not provided (for lifts tendered on or after 1 July 1993) (PM

points will be recorded if the RC or RE has not advised the responsible person of

this non-compliant item in writing for rectification within the last three months).

PLE10 Failure to notify the Director for any of the following in accordance with the

requirements and within the time limit specified in the Ordinance or Regulation:

(i) undertaking of lift works (Section 3 of the Regulation);

(ii) subcontracting of lift works (Section 4 of the Regulation);

(iii) unable or unwilling to continue to undertake lift works (Section 9 of the

Regulation);

(iv) incident investigation report (Section 40(2) of the Ordinance);

(v) failure of emergency devices (Section 8 of the Regulation); and

(vi) report of lift not in safe working order (Sections 24 and 25 of the

Ordinance).

PLE11 For machine-room-less lifts only: the maintenance access panel does not provide

any of the following:-

(i) control equipment which enables dynamic tests (such as brake tests,

traction tests, safety gear tests, buffer tests or tests of ascending car

overspeed protection means) to be carried out;

(ii) direct observation of the lift machine together with display device giving

indication of : (a) direction of movements of the car; and (b) speed of the

lift car (for lifts tendered on or after 17 December 2012) ; and

(iii) direct observation of the lift machine or by display device(s) giving

indication of reaching an unlocking zone (for lifts tendered on or after 17

December 2012).

PLE12 For machine-room-less lifts only: the lift fails to provide a manual means of

emergency operation for allowing the car to be moved to a landing with the aid of

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following equipment:-

(i) one set of car lifting tools for emergency operation such as chain block,

rope clamper, guide rail clamper, lever, shackle, etc.;

(ii) portable weight for placing to car or compensation chain when balanced

load occurs; and

(iii) an emergency electrical operation device and emergency electrical brake

release switch (if no manual release is provided) according to the Design

Code, which are placed in the maintenance access panel located outside

the lift well (for lifts tendered on or after 17 December 2012).

PLE13 Incorrect critical information e.g. lift brand/ model, component brand/ model/

invalid certificate, and unreasonable measurement, recorded in the examination

report. PM points will be accorded to the RLE per unit of installation.

PLE14 Failure to use the checklist for handover/ takeover of lift maintenance provided in

EMSD Circular no. 13/2015 during handover/ takeover of lift maintenance (no

points will be accorded if the RC has filled in its own part of the checklist).

PLE15 Failure to attend, or reschedule, the LE11 examinations, without reasonable

excuses provided to EMSD. PM points will be accorded to the RLE who has

repeatedly changed his/ her examination dates more than twice without

justifications in a quarter.

Category X (PM points to be specified for individual item)

(PM points specified for the individual items will be allocated subject to the fact that no PM points have been allocated upon discovery of the non-compliant items/misconduct/negligence.)

PLX1 Conviction by the Court for offence(s) in relation to contravention of the

provisions of the Ordinance or Regulation (20 PM points)

PLX2 Guilty by the Disciplinary Board for such misconduct or negligence in carrying out

lift works (15 PM points)

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4. List of Common Non-compliance – Escalators

(Note: Any device/equipment/component newly installed during major alteration shall comply with the latest requirements of the Ordinance and the Code of Practice on the Design and Construction of Lifts and Escalators and shall be effective. PM points will be counted and recorded per cause of safety device/ component/ switch with non-compliances identified. Highest PM points will be accorded among the non-compliances with the same cause.)

Category A (15 points)

PEA1 The escalator machine brake or the auxiliary brake or the broken drive chain safety

device is ineffective or is defeated such that the escalator steps cannot be stopped

and maintained stationary.

PEA2 The step chain, drive chain or the shaft of the drive machine is broken due to

inadequate or inferior maintenance / workmanship / material quality (where

material quality of the step chain, drive chain or the shaft of the drive machine is in

issue, no points will be recorded if the material quality of the component is outside

the control and awareness of the RC or RE).

Category B (6 points)

PEB1 The phase failure/reversal protection device is not provided or is ineffective.

PEB2 The escalator brake is not properly adjusted such that the stopping distance does

not comply with the limitations specified in the corresponding design

requirements as stipulated according to the tender/modification date of the

escalator.

PEB3 The emergency stop switch is not provided or is ineffective.

PEB4 The broken step chain safety device is not provided or is ineffective.

PEB5 The step sagging safety device is not provided or is ineffective (for escalators

installed on or after 31 October 1987).

PEB6 The non-reversal device is not provided or is ineffective.

PEB7 The broken handrail safety device is not provided or is ineffective (for public

service escalators installed on or after 31 October 1987).

PEB8 The handrail entry safety device is not provided or is ineffective (for escalators

installed on or after 31 October 1987).

PEB9 The comb plate safety device is not provided or is ineffective (for escalators

installed on or after 31 October 1987).

PEB10 The speed governor or speed control is not provided or not complying with the

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requirements specified in Clause 8.5.1 in Section E, Part 4 of the Design Code.

PEB11 The skirt panel switch is not provided, missing or ineffective such that the

escalator does not stop even if a foreign object is jammed between the skirt panel

and the pallet (for escalators installed on or after 18 March 1994).

PEB12 The electrical interlocking device of the escalator in connection with the adjacent

shutter gate is not provided or is ineffective. (PM points will be recorded if the RC

or RE has not advised the responsible person of this non-compliant item in writing

for rectification within the last three months).

PEB13 Exposed/extraneous conductive parts of the escalator system are not electrically

earthed in accordance with the Code of Practice for the Electricity (Wiring)

Regulations or the earthing is ineffective. (Points will be recorded under the following conditions:

The parts concerned are maintained by the RC; or

The parts concerned are not maintained by the RC and the RC or RE has not

advised the responsible person of this non-compliant item in writing for

rectification within the last three months).

PEB14 The interlocking device for successive escalators without intermediate exit is not

provided or is ineffective such that the escalator will not stop automatically upon

stopping of its succeeding escalator.

PEB15 Fire or smoke incident involving the equipment or ancillary machinery of an

escalator installation, which is found to be induced or caused due to inferior

workmanship in the installation or lack of maintenance of the escalator or poor

housekeeping of the escalator machine room, e.g. short-circuiting, excessive

dust/dirt, foreign materials, ageing cables, etc.

PEB16 Any incident 3/property damage caused by equipment failure 4 e.g. failure of

electrical or mechanical component, loosen of handrails, ineffective sensors etc.,

or caused when carrying out escalator works with inadequate safety precautions.

PEB17 The missing step/pallet device is not provided or is ineffective or is defeated (for

escalators tendered on or after 1 January 2012).

PEB18 The landing floor plate safety device is not provided or is ineffective (for escalators

tendered on or after 1 January 2012).

3 Incident means any of the escalator incident specified in Schedule 7, Part 2 of the Ordinance.

4 Equipment failure or defeated components related to Category A items will be accorded under

PEA items.

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Category C (4 points)

PEC1 The clearance between the skirt panel and the step of an escalator exceeds 4mm.

PEC2 The clearance h6 (see Figure 1, detail X in Section E, Part 4 of the Design Code)

between the comb and the step exceeds 4 mm, or the horizontal clearance

between the teeth of the comb and the web of the step exceeds 4 mm or the

clearance between steps exceeds 6 mm.

PEC3 The enclosure of escalator (cladding) is not properly installed such that machinery,

moving parts or electrical parts are exposed and accessible by unauthorized

persons.

PEC4 The safety device for the inspection door or the trap door next to the adjacent

escalator treadway is not provided or is ineffective such that the adjacent escalator

can still operate when this inspection door or trap door is open.

PEC5 The clearance b6’ or b6” (see Figure 2, detail W in Section E, Part 4 of the Design

Code) between the handrail profile and guide or cover profile exceeds 8 mm.

PEC6 Works which were subcontracted to another RC were identified with

non-compliant items and PM points accorded. (see para. 2(d))

Category D (3 points)

PED1 Failure of the RC or RE to advise the responsible person of the missing guards or

the guards are installed incorrectly at intersection between escalator and floor,

between escalator and adjacent obstructions, or between criss-cross escalators.

PED2 Protective guards for accessible moving parts including rotating parts are not

provided or they fail to offer the protection as required.

PED3 Deviation of the speed of the handrail from the speed of the steps is outside the

limits of 0 to +2% (for escalator installed on or after 31 October 1987).

PED4 The skirt deflector is not provided or the installation is ineffective (for escalators

installed on or after 18 March 1994).

Category E (2 points)

PEE1 The brake release or manual release instruction is not provided.

PEE2 The notice or pictograph is not provided.

PEE3 Failure to update log-book in accordance with the Code of Practice for Lift Works

and Escalator Works. (PM points will be counted and recorded per unit of

installation.)

PEE4 The clearance between the balustrade exterior paneling and the guard wall/rail

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erected adjacent to the escalator at the landing exceeds 100 mm or the guard

rail/wall is not securely fixed (PM points will be recorded if the RC or RE has not

advised the responsible person of this non-compliant item in writing for

rectification within the last three months).

PEE5 Failure to notify the Director for any of the following in accordance with the

requirements and within the time limit specified in the Ordinance or Regulation:

(i) undertaking of escalator works (Section 18 of the Regulation);

(ii) subcontracting of escalator works (Section 19 of the Regulation);

(iii) unable or unwilling to continue to undertake escalator works (Section 23

of the Regulation);

(iv) incident investigation report (Section 70(2) of the Ordinance); and

(v) report of escalator not in safe working order (Sections 54 and 55 of the

Ordinance).

PEE6 Incorrect critical information e.g. escalator brand/ model, component brand/

model/ invalid certificate, and unreasonable measurement recorded in the

examination report. PM points will be accorded to the REE per unit of installation

PEE7 Failure to use the checklist for handover/ takeover of escalator maintenance

provided in EMSD Circular no. 13/2015 during handover/ takeover of escalator

maintenance (no points will be accorded if the RC has filled in its own part of the

checklist).

PEE8 Failure to attend, or reschedule, the LE12 examinations, without reasonable

excuses provided to EMSD. PM points will be accorded to the REE who has

repeatedly changed his/ her examination dates more than twice without

justifications in a quarter.

Category X (PM point specified for individual item)

(PM points specified for the individual items will be allocated subject to the fact that no PM points have been allocated upon discovery of the non-compliant items/misconduct/negligence.)

PEX1 Conviction by the Court for offence(s) in relation to contravention of the

provisions of the Ordinance or Regulation (20 PM points)

PEX2 Guilty by the Disciplinary Board for such misconduct or negligence in carrying out

escalator works (15 PM points)

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Appendix - Sample calculation of moving averages

For a particular RC/RE, assessment started in Nov 2013

2013 2014 2015

A. Month Nov Dec Jan Feb Mar Apr May Jun July Aug Sept Oct Nov Dec Jan Feb Mar Apr B. No. of units inspected in the month excluding those with 8 3 4 4 6 7 5 1 3 6 7 4 8 3 4 4 4 4

which warning has been issued following the inspection 5) 6)C. Total no. of units inspected for 12 successive calendar 8 11 15 19 25 7( 12 13 16 22 29 33 41 44 48 52 56 53(

months

D. Total no. of PM points (Categories A and X items) scored in 0 15(2) 0 0 0 0 0 0 0 0 0 0 0 0 15 0 0 0 the month

E. Total no. of PM points (12 PM points or more in a single 0 0 0 14(3) 0 0 0 0 0 0 0 0 0 0 0 0 0 0 unit inspection) scored in the month

F. Total no. of PM points (excluding non-compliant items 16 4 28 24 36 20 15 0 2 2 0 2 4 6 4 2 0 2 already covered by a warning following the inspection) scored in the months

5) 39(7)G. Total no. of PM points (excluding non-compliant items 16 20 48 72 108 20( 35 35 37 39 39 41 45 51 55 57 57 already covered by a warning following the inspection) scored for 12 successive calendar months

H. Moving average PM points (excluding non-compliant items (N/A)

(1) 1.8 3.2 3.8 4.3(4) (N/A)(1) 2.9 2.7 2.3 1.8 1.3 1.2 1.1 1.2 1.1 1.1 1.0 0.7 already covered by a warning following the inspection ) scored for 12 successive calendar months (H= G/C)

Notes:

(1) As number of units inspected is less than 10, moving average is not calculated.

(2) In December 2013, 15 PM points from a Category A item were accorded from a single unit inspection. Action is taken against the RC/RE, but such PM points are not used to calculate

moving average.

(3) In Feb 2014, 14 PM points (excluding Category A item) were accorded from a single unit inspection. Action is taken against the RC/RE, but such PM points are not used to calculate

moving average.

(4) In March 2014, the moving average PM points (excluding items under Categories A and X and aggregated total of PM points reaches 12 or more from a single unit inspection) has

reached 4.3 and number of units inspected is accumulated to 25. Action is taken against the RC/RE.

(5) The number of units inspected and the total no. of PM points for the preceding months is reset to zero following triggering the moving average critical PM points.

(6) The number of units inspected in April 2014 is excluded for the calculation of the total number of units inspected as at the end of April 2015 over 12 successive calendar months.

(7) Total PM points (excluding non-compliant items already covered by a warning following the inspection) scored in April 2014 is excluded for the calculation of the total PM points

scored as at the end of April 2015 over 12 successive calendar months.

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